DFX Intelligence

D•••• L•• K•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

D•••• L•• K•••••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

Virginia Beach, VA

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Search this name across graphsid dfx:ria:afcb56e3-b002-f6e1-0f42-b52fbae45d11

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jul 7, 1997 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: C•••••••• I••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 5, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Apr 17, 2021	n/a	yes	Virginia Beach, VA	Current employment
O•••• F•• I•••	Former SEC adviser	Aug 20, 2018	Apr 16, 2021	no	Virginia Beach, VA\|VIRGINIA BEACH, VA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• F•• I•••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Apr 16, 2021	Apr 17, 2021	1	Bulk transfer	Ibd to ibd
H•••••• T••••••• • K•••• L••	O•••• F•• I•••	Feb 16, 2018	Aug 20, 2018

Relationships

Registered with (6)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Apr 17, 2021 to presentfactForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Aug 20, 2018 to Apr 16, 2021factForm ADV
→ H•••••• T••••••• • K•••• L••Registered adviserregistration: previous registration
Jun 29, 2013 to Feb 16, 2018factForm ADV
→ M•• F•••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:afcb56e3-b002-f6e1-0f42-b52fbae45d11
First observed: Jul 7, 1997
Last observed: Sep 14, 2026 9 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.